ASSESSMENT OF THE FUNCTIONING OF ASHAS UNDER NRHM IN UTTAR PRADESH Chief Investigator

ASSESSMENT OF THE FUNCTIONING OF
ASHAS UNDER NRHM IN
UTTAR PRADESH
Chief Investigator
Prof. Deoki Nandan
Director
National Institute of Health & Family Welfare
Study Team
State Institute of Health & Family Welfare, Lucknow
Dr. Neera Jain
Dr. N.K.Srivastva
National Institute of Health & Family Welfare, New Delhi
Prof. A.M.Khan
Dr. Neera Dhar
Dr. Vivek Adhish
Dr. S. Menon
2007-2008
1
CONTENTS
Preface
i
Acknowledgement
iii
Abbreviations
iv
List of Tables
v
List of Graphs
v
Executive Summary
vi
I.
Introduction
1
II.
Methodology
4
III.
Findings and Discussion
8
IV.
Recommendations
24
References
27
2
PREFACE
Despite significant improvements made in the past few decades, the public healt h
challenges are not only so huge but are also growing and shifting at an
unprecedented rate in our country. The concerns shown by the organisations at
the global level indicate that in view of the resurgence of various epidemics, both
infectious and non-infectious, the situation can be handled only through a public
health management approach. This urgency was realised and expressed in the
Public Health Conference as the “Calcutta Declaration”, which called for creating
appropriate structure for public heal th professionals and promoting reforms in
public health education and training.
The National Institute of Health & Family Welfare initiated a Public Health
Education and Research Consortium (PHERC) with the objective of networking
and engaging in partners hips with public health institutions in the country to
enhance their research capacity. As the nodal agency for imparting in -service
training to health personnel and conducting research under the NRHM, the
Institute is an ideal partner to bring the Departm ent of Community Medicine in
medical colleges, nursing colleges and other public health education and training
institutions in the healthcare delivery system into the mainstream healthcare
system, and also to provide a platform for building networks for ca pacity building
in these institutions.
Currently, under the National Rural Health Mission many innovations have been
introduced in the states to deliver healthcare services in an effective manner. State
programme managers would wish to know how well these innovations are
performing so that in case of gaps they could take corrective measures to achieve
the stated objectives. There has been an increasing recognition for incremental
improvements in the programme delivery system by undertaking quick and rapid
health systems research and engineering the feedback into the processes. An
impending need was discerned to develop a cluster of institutions and strengthen
their capacities on rapid appraisal methodologies for generating programme
relevant information at local and regional levels.
The Rapid Assessment of Health Interventions (RAHI), a collaborative effort with
the United Nations Population Fund (UNFPA), is a unique initiative taken under
the wider umbrella of the 'Public Health Education and Research Con sortium
(PHERC)' of the National Institute of Health and Family Welfare to develop
partnerships with different organisations working in the field of health and family
welfare. The project objective is to accelerate programme implementation in the
identified states by providing them with timely and appropriate research inputs for
3
addressing priority implementation problems. The specific objectives of this
initiative are to develop a network of state/regional institutions for conducting
health systems researc h and to provide technical support for steering locally
relevant research based on the specific issues identified by the state/district
programme managers.
During the first phase of the RAHI Project, the UNFPA India Office supported 12
health system research projects. In this phase, five low -performing states, viz.
Madhya Pradesh, Jharkhand, Chhattisgarh, Uttar Pradesh and Orissa, were
included. Initially, proposals were invited from medical colleges, NGOs and other
health institutions. After rigorous scre ening of the proposals by the Technical
Advisory Committee (TAG) consisting of eminent public health experts, 12 projects
were finalised in a national workshop conducted at the NIHFW. The faculty of the
NIHFW provided technical support for the finalisation of tools, training to
investigators, planning and monitoring of data collection. A quality assurance
mechanism was developed in consultation with the members of TAG and experts
from the UNFPA. The progress of the projects was reviewed by the TAG from time
to time. A draft report entitled “Assessment of Functioning of ASHAs Under
NRHM in Uttar Pradesh” by the State Institute of Health & Family Welfare,
Indira Nagar, Lucknow, Uttar Pradesh, was finalised by the institute in
consultation with the UNFPA.
It is envisaged that the findings and recommendations of this study would trigger
a series of follow-up measures by the programme managers concerned in the state.
We also feel strongly about continued need for optimum engagement of available
human resources in community medicine, paediatrics, obstetrics, and gynaecology
departments of the medical colleges in such assessments. Such initiatives by the
programme managers will end the current isolation of medical colleges and will be
conducive for incorporating su ch public health interventions during
undergraduate and post graduate training.
Dr. Dinesh Agarwal
National Programme Officer, UNFPA
Prof. Deoki Nandan
Director, NIHFW
4
ACKNOWLEDGEMENT
We are thankful to Prof. Deoki Nanda n, Director of NIHFW and Dr Dinesh
Agarwal of UNFPA for giving an opportunity and valuable suggestions.
We are also grateful to Dr. A. M. Khan, Head, Department of Social Sciences,
NIHFW, Dr. V.K. Tiwari, Coordinator and Dr. Manoj Agarwal, Consultant, RA HI
Project and their colleagues at NIHFW, for their constant help during the study.
We are thankful to Executive Director, CHART, Principal Secretary of the State,
Director General, Family Welfare, Uttar Pradesh, all the CMOs and Block Medical
Officers of the selected districts for providing support in completion of the study.
We express our gratitude to all respondents in this research, without whose
cooperation, this study would not have been impossible.
The completion of the present project would no t have been possible without the
dedicated efforts of the research team in which every team member played a
significant role.
Dr. Neera Jain
Member Secretary, CHART
v
ABBREVIATIONS
ANC
ANM
ASHA
AWW
BCG
BNO
CHART
CSSM
CHC
DNO
EAG
FGD
FRU
FP
GDP
GoI
IDI
IMR
IEC
JSY
LB
LHV
NFHS
NRHM
NIHFW
NGO
PHC
PNC
PRI
RAHI
RCH
UNFPA
UPA
Antenatal check up
Auxiliary nurse midwife
Accredited social health activist
Anganwadi worker
Bacillus Calmette Guerin
Block Nodal Officer
Centre for Health Action Research and Training
Child survival and safe motherhood
Community health centre
District Nodal Officer
Empowered action group
Focus group discussion
First referral unit
Family planning
Gross domestic product
Government of India
In-depth interview
Infant mortality rate
Information education & communication
Janani Suraksha Yojana
Live-births
Lady health visitor
National Family Health Survey
National Rural Health Mission
National Institute of Health and Family Welfare
Non-government organisations
Primary health centre
Postnatal care
Panchayati Raj Institution
Rapid Appraisal of Health Intervention
Reproductive child health
United Nations Fund for Population Action
United Progressive Alliance
vi
LIST OF TABLES
Table
Content
Page
No.
No.
1.
Steps taken during recruitment
12
2.
Contents of ASHA training
14
3.
Knowledge about the compensation
15
4.
Status of selection of ASHA i n UP and selected 18
districts and blocks
LIST OF GRAPHS
Graph
Legend
Page
No.
No.
1.
Percent distribution of ASHAs selected against target
9
2.
Percent distribution of ASHAs by age
10
3.
Percent distribution of ASHAs by caste
10
4.
Percent distribution of ASHAs by education
11
5.
Percent distribution of ASHAs by marital status
11
6.
Percent distribution of ASHAs trained against
15
selection
EXECUTIVE SUMMARY
INTRODUCTION
vii
The National Institute of Health and Family Welfare, in collaboration with the
UNFPA, undertook rapid appraisal of various health interventions with the
concurrence of Government of India under the “Rapid Appraisal of Health
Interventions” (RAHI) proje ct. These studies were conducted in five low
performing states, namely Madhya Pradesh, Uttar Pradesh, Orissa, Jharkhand, and
Chhattisgarh, to understand the process of implementation of various
programmes, schemes, and innovations under the NRHM. This rep ort is based on
rapid appraisal of the ASHA Scheme under the NRHM in Uttar Pradesh, where a
total 129,312 ASHAs were selected against a target of 134,643 and 116,470 were
trained till the start of study.
General Objective
To assess the recruitment and training process of the ASHAs, acceptability of the
ASHAs in the community, status of payment of compensation, and eventually to
furnish a set of suggestions to programme managers for making the project more
effective.
Methodology
The appraisal was done in four districts of Uttar Pradesh namely, Varanasi,
Moradabad, Lakhimpur -Kheri, and Jalaun (Orai), by using a cross sectional
research design. Different stakeholders, comprising of four district nodal officers,
12 block nodal officers, 20 facilitators, 4 3 ANMs, 60 ASHAs, 43 AWWs, and 360
beneficiaries (using random technique), were included in the study. A few FGDs
were conducted in eight blocks with the PRI members.
Salient Findings

All the stakeholders, i.e. DNOs, BNOs, and facilitators, were aware of the steps
for recruiting the ASHAs. However, one fourth of the facilitators did not carry
out the FGDs/GDs activity in the villages;
2

All the DNO, BNOs and the ASHAs found the training useful, but 37 per cent of
ANMs did not express any opinion;

The need for training to the ASHAs was expressed by almost all the DNOs, the
BNOs including the ASHAs. About 16 per cent of the ANMs did not support
recurrent trainings to ASHAs because it affected their routine works and it was
not necessary. The involvement of the community, PRIs, NGOs, and AWW etc
was limited and poor;

The ASHAs’ support in ANC services and immunization was significantly high
in comparison to other services;

The role of the ASHAs in institutional deliveries was appreciable. More than
three-fourth of the beneficiaries were found satisfied with the ASHAs. The PRI
members too were appreciative of ASHAs’ presence in the village indicating
acceptance of the ASHAs in the community;

Non-availability of funds at district -level was not found to be a problem. Funds
were being transferred to sub -district levels through e-banking;

Almost all the BNOs had complete knowledge of the provisions of
compensation money for the ASHAs;

The majority of ASHAs and ANMs had incomplete knowledge about the
compensation provisions made available under the scheme; and

There were some constraints in making timely payments, i.e. non -submission
of adjustment vouchers and utilization certificate followed by non/late
availability of relevant guidelines /norms.
Key Recommendations

A strategy should be in place to recruit the remaining ASHAs as early as
possible to make the programme effective and efficient.

Communication strategy needs to be designed to create awareness on the
ASHA scheme for PRI members and at community l evel for better acceptance
of ASHAs.

To avoid the delays in compensation money, the mechanism developed by the
State must be strictly followed.

Self-explanatory and specific financial guidelines should be made available
within time to the programme manag ers.
3

Under the cascade model of training to the ASHAs, trainings should impart
complete knowledge and skills to the trainees in a stipulated time.

Quality of training should be enhanced and refresher training should be
planned regularly.

In specific to improving programme, a medicine kit to ASHA must be provided
at the earliest to help the community serve better and readily.

A process of community level monitoring, regular problem solving, and skill
up-gradation should be developed as early as possible.
4
CHAPTER I
INTRODUCTION
A review of Indian healthcare programmes shows that different models of
healthcare delivery were adopted in post Independent India which relied heavily
on expansion of healthcare infrastructure in terms of primary health cent res,
community health centres and sub -centres.
Consistent additions to the
peripheral facilities were planned to extend the outreach of maternal and child
healthcare in rural areas. These centres remained poorly supervised and were
inadequately supported by curative and referral care units. Therefore, they could
address the preventive and promotive healthcare needs of the population only to a
limited extent.
Infant and child mortality rates did show declining trends during the decade of
1980 and early 1990s, but maternal mortality ratio continues to remain high. The
pace of decline of IMR, especially neo -natal mortality rate, has slowed down
during the period of 1995 -2005. Introduction of the CSSM in 1992 and the RCH in
1997 by the Government of India m arked as a paradigm shift in the provision of
maternal and child care. But these attempts could produce limited results in the
absence of sustained commitments, clear implementation strategies, and
supportive supervision especially during the first phase o f the RCH.
The objective of the NRHM is to strengthen healthcare delivery system with a
focus on the needs of the poor and vulnerable sections among the rural
population.
The NRHM has prioritized on low performing States to reduce
regional imbalances in the health outcomes. The NRHM is also attending to the
determinants of good health, like, sanitation, nutrition, and safe drinking water.
Its architectural corrections include integration of different organizational
structures, optimization of health manpower, decentralization and community
participation, and extension of effective referral hospital care at community levels
as per the Indian Public Health Standard in each block of the country. One of the
main tenets of the programme is to identify one ASHA (Accredited Social Health
5
Activist) per 1000 population in the rural areas with the purpose of supporting
community to access the public health services.
Framework of the NRHM underlines ASHA as a health activist in the community.
She is expected to create awareness on health and its determinants, mobilize the
community towards local health planning, and increase the utilization of the
existing health services. The GoI issued certain guidelines to all the States to
ensure that women with required capa city may only take the assignment as ASHA.
The 23-day training in four phases was proposed to enhance the knowledge and
skills of ladies identified as ASHAs. To make her functional in an appropriate
manner, she is trained for seven day in the first instan ce on a set curriculum
developed by the GoI. Also significantly, since ASHA receives a fixed honorarium
as compensation money in lieu of each activity performed, the timely flow of this
money is of paramount importance for her commitment and motivation
Operationalization of ASHA in the State
The ASHA scheme under the NRHM was launched in the year of 2005 in the State
of Uttar Pradesh. Detailed guidelines for selection and training of ASHAs, their
role, compensation for the training, and performance -based incentives were issued
by the State Government. Up to December 2007, a total of 129,312 ASHAs were
selected and 116,470 of them could be trained in the first phase of coaching.
Although cascade of the training envisaged completion within a year’ time, th e
load of training in a large State like Uttar Pradesh proved the infeasibility of the
proposal. Consequentially, a strategic change to merge the succeeding trainings in
a single phase by completing the curriculum in 10 days at a go was made. Delay in
payments to the ASHAs is still a barrier in the effective functioning of the scheme.
To avoid the delays and making the payment to the ASHAs timely, the feedback
from lowest levels is taken and corrective actions in the form of revised financial
guidelines were made, apart from making sure that shortfalls of funds did not
arise. This is proving successful in making the fund flow uninterrupted.
Inadequate awareness on the part of service providers and the community is acting
as an obstacle in proper implementat ion of the scheme.
6
Rationale
The role and responsibilities of ASHA indicate that she has a significant role in the
achievement of the objective set for the mission. Looking at this massive plan of
selection, training, and provision of payments to the ASH As on the one hand and
their success in mobilizing the community to access the quality healthcare on the
other, it was thought to undertake a rapid appraisal of the ASHAs at the very
outset. Since no specific effort has been made to know the actual status of the
selection and training of ASHAs, their acceptance by the community, and the
system of compensation payments, this programme was implemented in U.P. The
present study was planned to understand and analyze all these issues with the
objectives given below.
General Objective
To undertake rapid appraisal of the functioning of ASHA scheme and evolve
suggestions for its improvement.
Specific Objectives
To assess the implementation of the guidelines on recruiting and
training of
ASHAs;

To ascertain the acceptability of the ASHAs by the community;

To study the appropriateness and timeliness of payment of
compensation money during training and performance -based
incentives to be paid subsequently; and

To suggest on how the ASHA schem e can be made more effective.
7
CHAPTER II
METHODOLOGY
Study Area
Varanasi, Moradabad, Lakhimpur -Kheri and Jalaun (Orai) Districts.
Study Design
Cross -sectional evaluation study, blending both quantitative and qualitative data.
Study Subjects

DNOs,

BNOs,

Training Facilitators,

ANM, AWW,

PRI representatives, and

Beneficiaries like pregnant and lactating mothers, beside the ASHAs.
Sample Size
The study was conducted in four districts. Multi -stage random sampling design
was used in the study. From each district, three blocks and from each block five
villages were selected randomly.
Selection of Blocks and Districts
Keeping in view the different geographical regions of the State, namely, eastern,
central, and western and Bundelkhand, one district from each region was selected.
Thus Varanasi from eastern, Moradabad from western, Jalaun from Bundelkhand
and Lakhimpur-Kheri from central region were selected. Three blocks from each
district -- two close to the district headquarter and one rem otely located from the
district headquarter - were selected for the study. Thus 12 blocks from four
districts were chosen for the study. From each block, five villages were selected
8
randomly .The list of selected districts, blocks and villages under stud y are shown
in table-1.
UTTAR
PRADESH
EASTERN
REGION
WESTERN
REGION
CENTRAL
REGION
SOUTHERN
REGION
VARANASI
MURADABAD
LUCKNOW
JALAUN
BLOCK A
(Five Villages)
BLOCK A
(Five Villages)
BLOCK A
(Five Villages)
BLOCK A
(Five Villages)
BLOCK B
(Five Villages)
BLOCK B
(Five Villages)
BLOCK B
(Five Villages)
BLOCK B
(Five Villages)
BLOCK C
(Five Villages)
BLOCK C
(Five Villages)
BLOCK C
(Five Villages)
BLOCK C
(Five Villages)
Districts, Blocks and Villages under Study
District
Block and villages
Proximal-1
Varanasi
Moradabad
Chiraigaon
Proximal-2
Pindra
Remote*
Cholapur

Rasoolpur

Phoolpur

Barthali

Salarpur

Udhavpur

Jadishpur

Seo

Ramaipatti

Sahadi

Umraha

Chiurapur

Tilmapur

Barai

Babatpur

Bhawanipur
Kundarki
Mundapandey
Bellary

Chakfazalpur

Niyamatpur

Mundiaraza

Kulwada

Madasana

Fatehpurnatha

Pandia

Ganeshghat

Sherpurmafi

Hariyana

Shivpuri

Harara

Kazipura

Dulari

Bichaula
Lakhimpur-Kheri Behzam
Bijua
9
Pallia Kalan
Jalaun(Orai)

Neemgaon

Bhanpur

Ittaia

Paila

Rajpur

Milinia

Dhakiabujurg

Bheera

Trilokpur

Lakhar

Bijuapurab

Chandan Chowki

Khodrahia

Bijuapachim

Dhuskia
Dakaur
Pindari
Kauthond

Mohana

Jukhauli

Nizampurnaka

Makrecha

Somai

Kauthond

Khehta

Girthan

Alampur

Kusmilia

Keythri

Madaripur

Mohamabad

Baragaon

Hadrukh
* Remote Block implies a block at least 25 kms away from district headquarters.
The Programme Implementers enquired in the sampled District and Block
included four District Nodal Officers ( Dy.CMO), 12 Block Nodal Officers (12) , 60
ASHAs from each village , 43 ANMs, 43 AWWs, PRI members, and 310
beneficiaries
Tools and Technique
Both qualitative and quantitative data collection techniques were used.
Data
collection tools were developed, pre -tested, and administered to the subjects.
Qualitative methods included checklists and in -depth interviews, comprising
variables like process of selection, training and compensation payments to the
ASHA, PRI’s opinion on the programme, and providers’ view about actual status of
implementation of scheme. Focused Group Discussions (FGD) were also held.
Data Collection
The village was divided in three segments. Two eligible house -holds were selected
following the right hand rule from each segment. Apart from this, eight FGD (two
FGDs in each district) with PRI members were conducted. In -depth interviews
with four DNOs and twelve BNOs were also conducted.
10
Two teams, each comprising of two supervisors and four invest igators, collected
the data in two selected districts concurrently.
Principal Investigator/ Co -
investigator/Supervisors conducted the FGDs and in -depth interviews. Data
collection work was completed in December 2007.
Quality Assurance
The entire project was monitored and supervised by the Principal Investigator (PI).
The co-investigator monitored the quality of data collection in the field by
personally supervising 10% of the interviews at the block levels. All FGDs were
conducted either by the Principal Investigator or the Co -investigator. Central
monitoring team from the NIHFW closely monitored the training, field activities,
data analysis, and report writing.
Data Analysis
The data collected in the form of recorded interviews was coded and each
interview was transcribed with the help of field notes, and further translated by
the hired field investigators on the same day of the field study.
Quantification was done for qualitative data by coding the responses of different
stakeholders and merging into different headings by using adjectives as per
guidelines for qualitative data entry interpretation and report writing format
provided by the NIHFW.
11
CHAPTER III
FINDINGS AND DISCUSSION
Part -1 Results based on Quantitative Data
Recruitment/Selection Process
The success of innovation depends largely on the quality of inputs. It is assumed
that the versatility of ASHA scheme - the pivotal human resource inputs under the
NRHM - will determine the success of the NRHM Mission. Therefore, at the very
outset, setting up standards for the selection of the ASHAs was considered very
important. The rapid appraisal was carried out to find out how far the standards
for the selection and training of the ASHAs are being used in the state of UP.
Government of U.P. issued the directives in this context, which were to be adhered
to during the selection procedure.
It was lucidly directed that a woman between 25 and 40 years of age, having at
least the formal education up to 8 th class, married (preferably daught er-in-law of
the village) /widow with excellent communication skills and leadership quality was
to be selected from the same village @ one per 1000 population.
It was also directed that a senior officer of Health Department at district level
would ensure the inter-departmental co-ordination. He would also elicit desired
support from concerned NGOs in the area. The District Health Mission had to
nominate the in-charge of the CHC/PHC, as the BNO had to ensure that selection
of ASHAs is according to the St ate’s directives.
The BNO had to identify 10 or more facilitators in each block. Every facilitator had
to cover approximately 10 villages. The females from local NGOs, Mahila Mandal,
Aganwadis, female health workers or other members of society were to be taken on
priority as facilitators.
12
All the identified facilitators of the district had to be imparted two -day training in
a workshop regarding the programme and the selection procedure.
These
facilitators had to decide at least three most approp riate names from each village
by conducting a FGD.
The list of so decided names had to be submitted to the
concerned gram sabha which in turn had to approve one name from the list on the
basis of the appropriateness. Further the village health society h ad to sign the
agreement with the selected ASHA.
Selection of ASHA
As evident, five per cent of the ASHAs were yet to be selected. The backlog
is relatively more in Varanasi (5%) Lakhimpur (6%), and just 1% less in Jalaua,
while Moradabad completed s election of ASHAs.
13
Age Distribution of ASHA
P ercen t o f A S H A
G r a p h -2 P e r c e n t D is tr ib u tio n o f
AS HA by Age
36.7
40.0
30.0
2 0 -2 4
30.0
25.0
2 5 -2 9
20.0
3 0 -3 4
10.0
3 5 -3 9
5.0
3.3
40+
0.0
2 0 -2 4
2 5 -2 9
3 0 -3 4
3 5 -3 9
40+
Age
Only 3.3% ASHAs were more than prescribed the age of 40 years in the
guideline of selection of ASHA.
Composition of Caste
Graph-3 Percent Distribution of ASHA
by Caste in Sample District
ST
2%
SC
23%
General
35%
ST
SC
BC
General
BC
40%
As much as 35% ASHAs came from general category (which contains possibil ity of
higher caste more than any) while 40% of them were BC, 25% from SC (23%), and
ST (2%). This classifications needs to be addressed in terms of caste composition
in each district.
14
Education of the ASHAs
Percent of ASHA
Graph-4 Percent Distribution of
ASHA by Education
60.0
53.3
50.0
40.0
JHS
31.7
H.S.
Inter
30.0
20.0
10.0
5.0
10.0
BA
0.0
JHS
H.S.
Inter
BA
Education
The guidelines put emphasis on education up to junior high school level. Only
53.3% of the ASHAs had schooling up to JHS, 31.7% HS and 5% intermediate, and
10% were graduates. This again needs to be examined in the context of educational
level of the ASHAs from each category of caste.
Marital Status of ASHA
G rap h -5 P ercen t D istrib u tio n o f AS HA
b y M arital S tatu s
P ercent of
AS HAS
100.0
91.7
80.0
M arried
60.0
Divorc e
40.0
20.0
1.7
5.0
1.7
Div orc e
Widow
Unmarried
0.0
Married
W idow
Unm arried
M a rita l S ta tus
It is good that 91.7% ASHA were married. The share of unmarried was just 1.7 per
cent.
Analysis of the information reveals that 74 per cent of the stakeholders knew and
followed the steps proposed for recruitment. However, 26 percent of f acilitators
15
did not conduct FGDs for short -listing the names of ASHAs. This was
strengthened from 88.3% of ASHAs who were also unaware about the FGDs
happening in their villages. The facilitators responsible to short -list ASHAs had
not carried out full pr ocedure in the selection. Majority of facilitator stated that
there was heavy pressure from gram sabha for a particular candidate.
All the
nominated facilitators belonged to Health Department while it was directed that
facilitators must come from across the departments and also from NGOs.
However, the representation of other departments was missing in reality during
the selection process.
Table-1: Steps taken during Recruitment
Recruitment steps
Facilitator DNO
N=23
BNO
ASHA
N=4
N=12
N=60
12
13
Whether facilitator was in the
23
4
village for short-listing
(100.0)
(100.0) (100.0) (21.7)
Whether FGDs were conducted
17
4
for short-listing
(74.0)
(100.0) (100.0) (11.7)
Filling of FGD forms and
No
No
12
No
7
No
their submission to
BMOs
B. Training:
Training of Trainers (TOT) was organized for imparting training to the ASHAs.
Through in-depth interviews with the DNO and the BNO, it was tried to ascertain
whether the guidelines issued by the government were followed. Findings reveal
that the district and block training teams were formed and their training was
conducted as per the State government guidelines. Facilitator guide for trainers,
teaching aids and reading materials for the ASHAs were also provided to them. In
Uttar Pradesh, till now, only first phase of the ASHA training could have been
16
completed, and 116,470 out of the total 129,312 ASHAs have been trained for seven
days.
Status of Training of the ASHAs by District and Block
Table-5 shows that in Uttar Pradesh about 10 p er cent of selected ASHAs are still to
be trained. All the CMOs / DNOs of districts where the training could not be
completed cited shortage of training budget as the reason behind this backlog.
Several components of training were asked to ascertain to wha t extent these
ASHAs had retained the knowledge about different contents taught to them.
Extent of retentions of the subject matter were taken confirmed “without probe”
and recall laps in the form of “with probe”.
The topic wise analysis of the
responses showed that knowledge of the ASHAs about the eleven listed contents
“without probe” ranged from 10 per cent to 85 per cent, while in case of “with
probe” it ranged from 45 to 100 per cent as shown in Table 6.
Another interesting
trend observed is that a number of ASHAs recalling the topics covered under
training after giving them the list of contents. It shows that after sometime, the
ASHAs have been unable to retain all the functions and responsibilities to be
undertaken by them. They were found to be m ore aware of the subjects related to
delivery where recall-lapse was found minimum ranging from 13 per cent in case of
ANC and natal services, and 23 per cent in immunization services as against 55 per
cent of the ASHAs, who could not recall whether someth ing about the NRHM was
taught to them or not?.
17
Table-2: Contents of ASHA Training (N=60)
Contents
Orientation Aspects


About NRHM
Role & responsibility of ASHA
Withou
t
Probe
With
Probe
Increme
nt
Don’t
remember
9(15%)
41(68%)
27(45%)
56(93%)
30%
25%
33(55%)
4(7%)
51(85%)
12(20%)
46(77%)
14(23%)
46(77%)
59(98%)
51(85%)
60(100%)
42(70%)
60(100%)
13%
65%
23%
47%
23%
1(2%)
9(15%)
0
18(30%)
0
33(55%)
51(85%)
30%
9(15%)
6(10%)
34(57%)
47%
26(43%)
13(22%)
36(60%)
38%
24(40%)
27(45%)
58(97%)
52%
2(3%)
Clinical Aspects





About ANC & Natal
About PNC
Breast feeding
Supplementary food
Child & Mother Immunization
Management Aspect
 Co-operation &co-ordination
with block &village level
members
 Counselling
&community
participation
 Team work &meeting
 Co-operation &co-ordination
with ANM &Other sectors
Training related issues like contents, place, and duration of training, its usefulness,
need for further training, and the honorarium received by the ASHAs during the
course of training, were also assessed across PRIs, the BNO, and the ANMs. All the
DNOs and BNOs found the training as useful while 37 per cent of ANMs did not
express any opinion on this issue. As much as 16 per cent of the ANMs said that
recurrent trainings to ASHAs affe ct their routine work. Further need of training to
the ASHAs was considered necessary by all the DNOs, BNOs and the ASHAs.
About 12 per cent of ASHAs also informed that the duration of training was less
than seven days.
18
Training Status of the ASHAs
Percent of ASHA
Trained
Graph-6 Percent Distribution of ASHA Trained
against Selection
120
100
80
60
40
20
0
90
100
96
85
Uttar Pradesh
75
Varanasi
Moradabad
Lakhimpur Kheri
Jalaun (Orai)
Uttar
Pradesh
Varanasi Moradabad Lakhimpur
Kheri
Jalaun
(Orai)
State/District
Knowledge on Compensation Amount
Awareness of the BNOs, the ASHAs and the ANMs about the different amounts of
compensation to be paid to the ASHAs for carrying out different activities was
ascertained.
It was observed that while the BNOs had more or l ess complete
knowledge of the provisions, only 57 per cent of the ASHAs and 70 per cent of the
ANMs had the knowledge of the various compensatory provisions under the
scheme.
Table-3 : Knowledge about the Compensation
Compensation money
Knowledge
on
compensation money for
different
activities
BNO
ASHA
ANM
N=12
N=60
N=43
12
34
30
(100%)
(57%)
(70%)
for
ASHA
19
Availability of Budget
Frequent shortfalls in budgets were also observed in the study distric ts, against the
requirement in different programme heads creating pending liabilities and
resulting in delayed payments to the ASHAs. It was also observed that whenever
budget is allocated to the district, the effort is to immediately transfer it to the
sub-district level through e-banking. This system was introduced in the State in
March 2007. Funds were not utilized within the stipulated time due to non orientation of the staff on e -banking transactions and transfer of money from the
districts without any accompanying directives.
Difficulties in Fund Flow
There were several hindering factors which delayed the disbursement of claims by
the ASHAs. Most of the DNOs and the BNOs admitted that unavailability of funds
at operational level was due to non -submission of adjustment vouchers and
utilization certificates.
Unavailability of relevant guidelines also contributed to
this lethargy. It was also observed that non -operation of imprest money account
and requirement exceeding the available funds were al so responsible for the delay
in fund releases.
Most of the officials said that late transfer of money under the
head ‘additionalties under NRHM’ account, a main source of payments to the
ASHAs, has been the foremost obstacle in timely payments. This pro blem is
compounded by apathetic attitude of the staff at district and sub -district hospitals.
One of the CMOs was pointing out the problem of non -submission of required
financial formalities in the district from the PHC.
Acceptability of ASHA- A Client Perspective
Acceptability of the ASHAs to the community including the type of activities
performed by her was assessed by administering a questionnaire to the lactating
mothers. The analysis revealed that out of 360 lactating mothers, 90 per cent were
registered for ANC services and about 63 per cent got their registration through
the ASHAs. Of the total number of ANC registrations, a little more than two -third
20
(67 per cent) of the expectant mothers got their check -ups during pregnancy
through the ASHAs which shows a high degree of involvement of the ASHAs in
this area. About 65 per cent of the ANC cases received T.T. doses through the
ASHAs. About 41 per cent and 12 per cent mothers received IFA tablets and
supplementary food respectively through the AS HAs. As much as 14 per cent of the
pregnant mothers had one or the other form of complication during pregnancy,
out of which 35 per cent were facilitated by the ASHAs in getting the treatment
which is again an indication of helping the beneficiaries to acc ess the health
delivery services.
Promotion of Institutional Delivery
The analysis of the quantum of work being done by the ASHA under the JSY
scheme showed that half of the total deliveries took place at homes, while 42% at
public health service units , and the rest at private nursing homes. Out of total
institutional deliveries, around three fourth (70%) were motivated and facilitated
by the ASHAs. Arrangement of and payment for transport were made by the
ASHAs for 22% of the deliveries conducted at public institutions.
It was also
observed that in 6% of the home -deliveries, the ASHAs arranged trained dai/ANM
at homes.
Out of 83 % newborns that were administered BCG vaccination, 59 % were
facilitated by the ASHAs in getting the immunization. About 40 per cent were
counselled for acceptance of any method of family planning by the ASHAs, out of
whom six percent turned up as acceptor of tubectomy, 26 per cent as condom
users while less than two percent got IUD inserted, and three per cent started the
use of either oral pills or some other traditional methods. It looks encouraging that
within a very short period of time, the ASHAs were able to motivate 37% to accept
one or other method of family planning.
The acceptability of the ASHAs by community can be gauged through their level of
effective involvement in various activities for facilitating the community to access
public health delivery services. As the ASHAs are providing the services voluntarily
to the community and are not paid workers, their inv olvement in facilitating
21
community in the access of health delivery services to such a high extent implies
that they are well accepted by the community. However more than three -fourths
of the beneficiaries were found satisfied with the ASHAs’ activities.
Table-4: Status of Selection of ASHA in U.P . and Selected Districts and
Blocks
State/Districts
Target
Selected
Short fall
Short fall
in (%)
Uttar Pradesh
134,643
129,312
1,900
245
249
194
2,631
230
179
195
2,891
166
210
185
966
109
119
129
1,811
242
224
192
2,631
230
179
184
2,720
166
182
145
961
107
119
129
5,331
89
3
25
2
0
0
0
11
171
0
28
40
5
2
0
0
3.96
4.68
1.22
10.04
1.03
0.00
0.00
0.00
5.64
5.91
0.00
13.33
21.62
0.52
1.83
0.00
0.00
VARANASI
 Pindra
 Cholapur
 Chiragaon
MORADABAD
 Kundarki
 Munda pandey
 Bellary
LAKHIMPUR KHERI
 Behzam
 Bijua
 Pallia
JALAUN(ORAI)
 Kuthond
 Dakaur
 Pindari
The selection of the ASHAs fell short by just 3.96% in Uttar Pradesh. Among the
study districts, the higher shortfall was in Lakhimpur -Kheri followed by
Varanasi(4.68%), Jalaun-Orai(0.52%) and Moradabad (0%). The village -wise
variation is evident from the table, highest in Pallia(21.62%) Village followed by
Bijua (13.33%) and Cholapur(10.04%)
Broad steps involved in selecting the ASHAs were: i) appointment of facilitator to
short-list ASHAs, ii) their orientation on the process of recruitment, iii)
conduction of FGDs for short -listing, iv) consultation with approval by PRI
22
representatives, and v) agreement between Pradhan and the ASHA.
The first
three steps relate to identification process of the ASHAs and the rest to their
approval.
In the light of the proposed government procedure, it was tried to assess the status
of ASHA selection in UP and in sample districts during the study. It is also to be
ascertained that all the prescribed steps for selection were undertaken.
Districts/block wise target of selection of the ASHAs and their actual position is
shown in table-3
Analysis of the information gathered from the facilitators, the DNOs and the BNOs
reveals that 74 per cent of the stakeholders knew and followed the steps proposed
for recruitment. About 26 per cent of facilitators stated that they did not conduct
FGDs for short-listing the names of ASHAs. This fact was further strengthened
when it was observed that 88.3% of the ASHAs were also unaware about the FGDs
happening in their villages. It seems that the facilitators responsible to short -list
ASHAs had not done justice to their work. Majority of them stated that there was
heavy pressure from gra m sabha in favour of a particular candidate
All the
nominated facilitators belonged to the health department while it was directed
that facilitators must come from across the departments and also from NGOs,
which shows that representation of other depart ments was missing in the selection
process.
Part -2 Result based on Qualitative Data
One of the block nodal officers said: “We had already received the guidelines from
the district HQ. Accordingly facilitators were appointed, they identified t he
appropriate women from amongst the various sects of inhabitation for selection
and sent their names to Pradhan. Then the Gram Pradhan selected required
number of the ASHAs from amongst them and sent it back to us at PHC.”

“Humare pradhan ji ko PHC bula ya gaya tha. bataya gaya ki gram sabha
mey jansankhya ke hisab se 1499 par ek ASHA ka chyan hona hai.
pradhan ji ne hum logo ko bataya. phir baithak hui jismey ANM
23
,didi,pradhan ji aur panchyat mitra thay, sab ko bataya gaya ki jo
mahilayein echchhuke hain , padhi likhi hain,
veh avedan patra bhar
den. jo mahilayein echchhuke thi unhone avedan kiya phir gram sabha
ki baithak mein hi anomodan kiya, anubandh bhi hua” ( Our Pradhan was
called at PHC. He informed that on the basis of village population of 1499 , one
ASHA has to be appointed. Pradhan told us, then with ANM Pradhan ji and
panchyat mitre, a meeting was held. Everyone was told about that whosoever
interested and educated can give application. Interested ladies gave applications,
then at gram sabha m eeting, the applications were approved. In that meeting,
pradhan, PHCs personnel and ANM were present. Contract was also singed by
the ASHAs)

PRI members were also not correctly aware about the steps of selection. One
of the pradhans told “ bahin ji (ANM) ya daktar sahib se malum chala ke
ASHA ko chunnne ke liye bahin ji ko panchyat mein naam dena hai”

Consent has to be submitted to the village body for the selection of ASHAs.
Like-wise the views of most of the Pradhans regarding procedure adopted for
selection runs like “Mere pas do teen nam aye, jisko panchyat ki khuli
baithak mey ek hazar ki jansankhya ke liye ek asha ka anumodan kar
daktar sahib ke pas bhej diya ” (I have received 2-3 names for selection of
ASHAs which were presented in the open session of Panchayat. One qualified
woman’s name was approved and sent to Medical Officer in -charge of the
concerned CHC/PHC.)

One of the panchayat member said “ pradhan ji dwara malum chala ki
chayan kiya ja raha hai ,aise mahila ko chuney jo karmath h o, kam se
kam, 8 pass tatha milansar ho, aisa nahi ki bulay to vah aye nahi,bina
shiksha ke sab adhura hai ” .(I knew from Pradhan ji that ASHAs are being
selected. I suggested to him that “select such a women who is at least 8
th
pass
and of friendly nature , available in need. Without education every thing is
incomplete.)
24

The analysis regarding the procedure of recruitment of ASHAs indicates
that only facilitators, the DNO and the BNO had the correct knowledge
about the selection procedure. Knowledge and p articipation of community,
PRIs, other sectors like NGOs need enhancement for advancement equate
community ownership in further selecting and owning this important
human asset under the NRHM.

“Hamari bharti ke bad prathmic swasthya kendra per sat din ki
traning di gai thee jismey ASHA key aath kaam batai gai they, iss
training ke pheley hum kucch naihee jantey they, jo training de gai
thee whey kaphi pheydeymand thi”( After our appointment, seven days
training was imparted to me at PHC in which ASHA’s eigh t works were
taught. Before this training, I did not know any thing. The training was
very useful to me): ASHA

“hum ko her do-teen mahney bad training milnee chayyey Jis se hum
aur acchaa kam kar saktey hey ”(We should be given training in every
two or three months so that we can work better): ANM

When the ASHA training was evaluated with PRI members, it was found
that they knew a bit about the place, duration, and conduction of training,
but the awareness about training content was almost nil.

“Hum to ye dekhte thy ki rojana, ek -aadh hufta tak training ke liye
jati thi, prathmic swasthya kendra per training hoti thi ”. (I was seeing
that she was going to PHC for a week or so for training): Pradhan.

“Mai puchhta rahta hu ki batao, kya training chal rahi hai? Do
training shyad abhi hui haihai. block se pata kiya, to kaha abhi
training chal rahi hai. abhi aur training baki hai .” (I keep asking the
ASHAs about their training. I have also enquired from the block about the
training for the ASHAs. They told t hat the training is going on. Remaining
training will be done in future): Pradhan.

The above reasons can be corroborated with the statement given by the
community members as “ Kuchh ASHA to kaam hi nahi kar rahi hain.
25
humare gaoan ki ASHA to subke ghar ja ti bhi nahi, bade logo key ghar
ki bahu hai kahan wo sub ke ghar ghumegi ” (Some ASHAs are not
working. In our village ASHA dose not visit every household as she is a
daughter-in-law of upper caste).

The importance of ASHA in the words of a PRI: “ASHA to humare liye aise
hai jaisey sabji mey aalo, kahin bhi mila dijiye, sub jagah kam ata hai,
dekhiyey (ASHA) merey gaon ki ladkiya hain, hili mili hain, parai nahi
hain, such-dukh mey satth deti hain, jitna ho sakta hai, karti
hain.”(ASHAs for health service a re like potatoes in any vegetable. ASHAs
hail from our own village, our own home. They help villagers as far as they
can). Such views and feeling were found in all the community FGDs.
Result in Brief
The measure findings are: All the stakeholders i.e. the DNOs, the BNOs and
facilitators were aware of steps of recruiting the ASHAs. However one fourth of the
facilitators did not carry out the FGDs/GDs activity in the villages. All the DNOs,
the BNOs and the ASHAs found the training useful. However, 37 per cent of ANMs
did not express any opinion. About 16 per cent of the ANMs did not support
recurrent trainings to the ASHAs because it affects their routine works and it is not
necessary. The involvement of the community, PRIs, NGOs, and AWW etc. was
limited and poor. The ASHAs’ support in ANC services and immunization was
significantly high in comparison to other services. The role of the ASHAs in
institutional deliveries was appreciable. More than three -fourth of the
beneficiaries were found satisfied w ith the ASHAs.
PRI members too were
appreciative of ASHA’s presence in the village indicating acceptance of ASHAs in
the community. Non-availability of funds at district was not found to be a
problem. Funds were being transferred to sub -district level through e-banking.
Almost all the BNOs had complete knowledge of the provisions of compensation
money for the ASHAs. The majority of ASHAs and ANMs had incomplete
knowledge about the compensation provisions made available under the scheme.
There were some constraints in making timely payments i.e. non -submission of
26
adjustment vouchers and utilization certificate followed by non/late availability of
relevant guidelines /norms.
Proposed cascade –model of training to the ASHAs was not paying dividends as
the inter-phase duration of training is becoming too long, which is adversely
affecting the knowledge and confidence of the ASHAs.
27
CHAPTER IV
RECOMMENDATIONS
The Key Recommendations :

A strategy should be in place to recruit the remaining ASHAs as early as
possible to make the programme more effective and efficient.

Communication strategy needs to be designed to create awareness on the
ASHA scheme for PRI members and at community levels for better acceptance
of the ASHAs.

To avoid the delays in compen sation money, the mechanism developed by the
State must be strictly followed.

Self-explanatory, specific financial guidelines should be made available within
time to the programme managers.

Under the cascade model of training to the ASHA, trainings sho uld provide
complete knowledge and skills to the trainees within the stipulated time.

Quality of training should be enhanced and refresher trainings should be
planned regularly. In specific to improving programme, a medicine kit to
ASHA must be provided at the earliest to help the community serve better and
promptly.

A process of community level monitoring, regular problem solving, and skill
up-gradation should be developed as early as possible.
Policy issues

Delay in selection: Backlog in the ASHAs is retarding the rapid scale -up of
the programme.

Low level of awareness about the components of the ASHA scheme
amongst the PRI’s members/community leaders.

Sometime interrupted fund flow from top to bottom leads to low morale of
functionaries and adversely affects the programme.
28

The provision of distance -wise payments of transportation charges to the
ASHA (in case she accompanies the beneficiaries of the JSY) functionaries
and adversely affects the programme.

The provision of distance -wise payments of transportation charges to the
ASHA (in case she accompanies the beneficiaries of the JSY) without
directive from the State are creating confusion.

Although it has been two years since the start of the programme in the
State, selection of the ASHAs is still not complete. This impacts the overall
implementation of the programme. An attempt should be made to recruit
the remaining ASHAs as early as possible.

Awareness generation programme on the ASHA scheme for PRIs and
community should be organized at regular i ntervals.

The mechanism developed by the State for ensuring uninterrupted fund
flow from State to operational level units must be strictly followed so that
delays in the compensation payments may be avoided. Self -explanatory,
specific and clear financial g uidelines should also be made available in time
to various programme managers.

A distance-wise distribution of transportation amount be fixed and
communicated to the district and sub -district level managers.

The time period envisaged in cascade model of t raining to the ASHAs
should be shortened to ensure regular upgradation of skills and knowledge
Limitations of the study

Duration of the study was too short, therefore a large sample -size could not
be attempted .

Small sample size restricts the generaliza tion of findings. So the findings
emerged are indicative only and cannot be generalized.

Study area could have been extended to a wider geographical area to have a
representative population.
29
Future Directions of Research

A micro level study on the payme nts of incentives to the ASHAs and other
factors affecting their motivational levels with a view to suggest
modification in the processes may be under taken in future.

Periodic training needs assessments to input into curriculum modifications
and it can be a regular research activity
REFERENCES
30
1. Special issue on National Rural Health Mission, Quarterly Journal of the
Indian Public Health Association, Vol.xxxxix. No.3, July -Sept,2005
2. National Rural Health Mission, State Action Plan, Uttar Pradesh (2005-12),
Department of Family Welfare, Uttar Pradesh.
3. National Family Health Survey (NFHS -3), Vol. I & II ,2005-06
4. National Rural Health Mission, Meeting People’s Health needs in rural
areas, Framework for Implementation, 2005 -2012), Ministry of Health &
family Welfare, GoI, New Delhi. .
5. ASHA, Facilitator’s Guide Book No.1, Ministry of Health & family Welfare,
GoI New Delhi
6. ASHA, Path Pradershika -1 SIHFW ,Lucknow, GoUP.
7. NRHM –the progress so far, www.mohfw.nic.in/NRHM
8. Draft Guidelines NRHM (2005-12) www.mohfw.nic.in
9. Kumar,Satish,”Challenges
of
Maternal
Mortality
Reduction
and
Opportunities under National Rural Health Mission - A critical Appraisal “
Indian Journal of Public Health ,Vol,xxxxix No. -3 July-Sept 2005.
10. Nandan .D: “National Rural Health Mission –Rhetoric or Reality. Indian
Journal of Public Health, Vol,xxxxix No. -3 July-Sept 2005.